FCA Tightens Grip On Principal Firms, SEC & FCA Crackdown On WhatsApp, £4m Fine For Failing To Implement MAR & More | Latest Financial News Roundup Fingerprint Lands On The RegTech100 2023 List! Wall Street Fined $1.1b, FCA Questions WhatsApp Use, Mark Steward Steps Down From FCA & More | Latest Financial News Roundup Citigroup Fined £12.6m, Compliance Staff Shortages, Fighting Financial Crime & More | Latest Financial News Roundup We’re heading across the pond… USA here we come! Principal Firms – Final chance to get your house in order before December Which major banks have been fined this month for their unmonitored communications? Fingerprint Supervision announces a significant strengthening of its Board as it grows. FCA Market watch 69 | Key Takeaways & Considerations FCA announces strategy for 2022-2025 – how will it impact your financial organisation? Securing the future for Principal firms in the UK’s financial industry. Who is watching the watchdogs? | The potential risk of misuse of surveillance software. Fingerprint shortlisted in the HFM European Services Awards 2022. Fingerprint + ISS LiquidMetrix | Partnership Announcement | December 2021 Market Watch 68: Data & eComms Surveillance practices under the spotlight. Is your firm potentially at risk of being a vehicle for financial crime? Unlocking the market | Regulatory Hosts & Umbrellas Firms have nowhere to hide on remote work. FCA’s 2020/2021 Annual Report Round-up | Fingerprint Protecting your financial firm’s culture and reputation in 2021. RFA + Fingerprint: Partnership Launch – June 2021 Fingerprint Supervision – Platform Updates – May/ June 2021 How hedge funds are embracing the new technology driven reality. Tone from within | Why personal responsibility in compliance is so important. Our biggest takeaways from the City of London RegTech Report 2021. The importance of continued learning and up-skilling in 2021. Future-proofing your firm | Is it possible to keep up with the pace of technological change? The importance of driving cultural change in Financial Services in 2021. Diving into the FCA’s business plans for 2021. The hidden costs to firms and individuals for non-compliance. The challenges (and opportunities) facing firms operating under a principles based regulator… Random Sampling does not work to efficiently detect Market Abuse in 2021. The key to stopping market abuse before it happens. FCA sets out expectations: Monitoring & Supervision of Voice and Electronic Communications in the Office and Home Working. Drive change, shift perceptions – compliance functions as an asset in financial firms Would the FCA praise or punish your Firm for its COVID remote working practices? Banker acquitted for destruction of evidence after deleting WhatsApp messages. FCA demands that Firms “Avoid Inadvertent Tipping Off” FINRA’s guide to Remote Work and Communications Supervision. Electronic Communications Supervision, and the new FCA Money Laundering Handbook